Legal Compliance Operations Associate

Wilshire is seeking a knowledgeable and experienced Legal Compliance Operations Associate to support day-to-day compliance operations across regulatory reporting policy and procedure management monitoring and Code of Ethics administration.

What youll do:

• Assist the compliance team with operational obligations including regulatory reporting and filings (e.g. Form ADV Form PF and related disclosures) Code of Ethics administration and ongoing compliance monitoring and testing.
• Collect analyze and review records from clients counterparties and service providers to ensure adherence to regulatory requirements and internal policies; support KYC/AML and sanctions screening as part of broader compliance operations when needed.
• Coordinate responses for internal audits regulatory exams and client due diligence requests; organize evidence and maintain clear documentation and workpapers.
• Communicate efficiently with internal teams and external partners to gather information for filings monitoring and due diligence; collaborate to address escalations and resolve complex compliance issues.
• Support training logistics (e.g. annual compliance training Code of Ethics certifications) and maintain training records.
• Participate in process improvements and compliance technology enhancements.

Qualifications :

• Bachelors Degree or equivalent relevant experience.
• 24 years of experience in compliance operations regulatory reporting KYC/AML or a related field within financial services (investment adviser experience a plus).
• Excellent communication skills with the ability to work clearly effectively and quickly across teams and with external partners.
• Strong analytical skills and attention to detail with a client-centric and solutions-oriented mindset.
• Proven organization decision-making and influencing skills; able to manage multiple deadlines.
• Flexible working approach and ability to thrive in a self-motivated team environment.

Additional Information :

• This position will work on a hybrid model out of our New York office
• We offer a comprehensive benefits package including a collaborative work environment generous PTO 401(k) match affordable & comprehensive medical/dental/vision insurance CFA and other professional membership reimbursement and more.

The pay range for this position is $80000-$100000. However base pay will be determined on an individual basis considering various factors including location qualifications skills and experience. The total compensation package includes eligibility for an annual discretionary bonus and a full range of health and financial benefit offerings which will be provided in conjunction with an offer of employment.

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Wilshire is an SEC registered investment adviser and required to track certain political contributions under Rule 206(4)-5.  As such you may be required to disclose your prior political contributions.  

We are an equal opportunity employer which means we afford equal employment opportunity to all individuals regardless of race/ethnicity creed color religion sex (including gender and gender identity) national origin ancestry age marital status veteran status citizenship status disability medical condition (as defined by California Government Code section 12926) or sexual orientation.  Our employees as well as applicants and others with whom we do business will not be subjected to sexual racial religious ethnic or any other form of unlawful harassment.  In addition Wilshire adheres to the equal employment opportunity requirements of all states and localities in which it does business.  We are completely committed to these principles not only because of the various laws which address these subjects but because it is the right thing to do for our employees and clients to thrive.

If you have a disability and require reasonable accommodations in the application process contact Human Resources at or .

#LI-Hybrid

Remote Work :

No

Employment Type :

Full-time